Role at Wasatch Advisors
- Title on Schedule A
- Director, Director of Client Relations
- Control
- Catherine Swenson is a control person of Wasatch Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Catherine Swenson has held the filed role since May 1992.
The firm
Form ADV filed 16 March 2026
Career on record
Catherine Swenson has been registered through Wasatch Advisors since January 1993.
- Passed SIE · 2018
- Passed Series 63 · 2005
- Passed Series 6 and Series 26 · 2003
- Wasatch Advisors LPCurrent– present · 34 yearsSalt Lake City, UT · Adviser representative · Firm CRD 106081
- Passed Series 65 and Series 2 · 1992
Registrations and exams
Catherine Swenson has a current investment-adviser registration in Utah and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Utah | Investment adviser representative | Approved | 6 January 1993 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 19 December 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 6 October 1992 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 27 May 2003 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 7 March 2003 |
| Series 2 | Non-Member General Securities Examination | 3 November 1992 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Non-Member General Securities Examination
Individual record
- Full name
- Catherine Kitty Swenson
- CRD
- 2289597
- Registration status
- Investment adviser and broker registrations
- Office
- 505 Wakara Way, 3rd Floor, Salt Lake City, UT 84108
- Firm bio
- wasatchglobal.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Wasatch identifies Kitty Swenson as Director of Client Relations and a board member. The firm reports that she earned an M.B.A. from Georgetown and a B.A. from the University of Utah. Official firm biography
Common questions
Where does Catherine Swenson work?
Catherine Swenson has been Director, Director of Client Relations of Wasatch Advisors LP since May 1992, and is a control person of the firm.
Is Catherine Swenson a financial advisor?
Yes. Catherine Swenson has a current investment-adviser registration in Utah, through Wasatch Advisors since January 1993, as of 17 October 2026.
How many years of experience does Catherine Swenson have?
Catherine Swenson has worked in the financial industry for 33 years as of 17 October 2026, counted from 5 January 1993, across 1 adviser firm.
What exams has Catherine Swenson passed?
Catherine Swenson has passed 6 licensing exams: the Series 65, Series 2, Series 6, Series 26, Series 63 and SIE. The earliest, the Series 65, was passed in October 1992.
Where is Catherine Swenson based?
Catherine Swenson’s registered office is in Salt Lake City, UT.
Leadership at Wasatch Advisors
- Michael YeatesDirector, Chief Executive Officer
- Hollie StrasburgDirector, Chief Operating Officer
- Daniel ThurberDirector, Secretary, Chief Compliance Officer, General Counsel
- Eric BergesonDirector
- Jeffrey CardonDirector
- Ajay KrishnanDirector, Portfolio Manager
- Dustin McCartyDirector, Head of Distribution
- Ryan SnowDirector, Portfolio Manager
- James TaylorDirector
- Michael ValentineDirector, Portfolio Manager